SEC Form 4 · accession 0001675149-17-000013

Alcoa Corp · AA

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Exec VP and CAO

Period of report

Feb 2, 2017

Accepted (ET)

Feb 6, 2017 · 6:48 pm EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001675149

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock, par value $0.01 per share^F1	Feb 2, 2017	A	3,650	$0.00	A	24,200	D
Common Stock, par value $0.01 per share^F2	Feb 2, 2017	A	1,635	$0.00	A	25,835	D
Common Stock, par value $0.01 per share^F2	Feb 2, 2017	A	1,268	$0.00	A	27,103	D
Common Stock, par value $0.01 per share^F2	Feb 2, 2017	A	3,320	$0.00	A	30,423	D
Common Stock, par value $0.01 per share^F3	Feb 2, 2017	F	1,594	$37.68	D	28,829	D
Common Stock, par value $0.01 per share^F4	holding	—	—		—	906	I	By Company 401(k) Plan

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Employee Stock Option (right to buy)^F5	$37.68	Feb 2, 2017	A	11,050	A	—	Feb 2, 2027	Common Stock	11,050	11,050	D

F1Award of restricted stock units (RSUs), which are settled in stock upon vesting, generally on the third anniversary of the date of the grant.
F2Earned 2016 tranche of performance restricted stock unit awards.
F3Represents payment of tax liability by withholding shares incident to the vesting of a performance restricted stock unit award granted in 2014.
F4Fluctuations in 401(k) share amounts reflect the plan's unit reporting method; units represent interests in the Company's stock fund.
F5The option vests in three equal annual installments beginning February 2, 2018.